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What is FIS Trading Compliance Manager?

The FIS Trading Compliance Manager serves as a comprehensive, web-based tool designed for regulatory surveillance and compliance across various asset classes, specifically tailored to help sell-side financial institutions detect, monitor, and resolve potential trading violations throughout the entire order lifecycle by integrating alerts with rich market and client insights. This cutting-edge platform offers robust trade surveillance, regulatory reporting, and supervisory controls, which support daily assessments, post-trade reviews, best execution evaluations, and compliance with regulations such as RegNMS, RegSHO, and market manipulation laws, while also fulfilling data requests including Electronic Blue Sheets (EBS) and OATS. By creating a centralized, permission-based system, it significantly improves oversight capabilities, mitigates risks, and streamlines manual processes for organizations. Additionally, the platform's capacity to present a comprehensive view of order placements and trading practices, paired with effective alert systems and integrated data storage solutions, enables firms to refine their compliance workflows, enhance the integrity of execution data, improve management reports, and reduce reputational risks throughout their operations. Moreover, this solution plays a crucial role in helping firms navigate the complex terrain of trading compliance, ensuring they remain proactive and well-prepared in an ever-evolving regulatory environment.

What is Alacra Compliance Enterprise?

Alacra Compliance Enterprise provides a comprehensive solution designed to help financial institutions around the globe tackle the complexities of regulatory compliance by streamlining essential processes such as KYC, CIP, CDD, EDD, and credit investigations. This innovative platform empowers organizations to reduce regulatory, financial, legal, and reputational risks on an international level. As a modular SAAS workflow application, Alacra Compliance Enterprise is built for swift implementation and requires minimal IT resources, negating the necessity for extra hardware or software installations. Consequently, clients can experience immediate operational improvements and accelerate their journey to realizing value. Users have observed an impressive boost in analyst productivity exceeding 88%, alongside a notable reduction in error rates averaging around 40%. The flexible SAAS offering from Alacra allows for seamless customization of workflows, which can be adapted to specific information sources, business rules, and approval processes to fulfill the distinct regulatory and risk requirements of each client. Additionally, the platform includes a user-friendly interface that streamlines the input of essential information regarding the entity being onboarded, as well as the investigator's credentials, ultimately enhancing both compliance efficiency and the overall user experience. This level of customization not only optimizes workflows but also fosters a more effective and responsive compliance strategy.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

FIS

Date Founded

1968

Company Location

United States

Company Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Company Facts

Organization Name

Alacra

Date Founded

1996

Company Location

United States

Company Website

www.alacra.com/compliance-solutions/compliance-products/alacra-compliance/

Categories and Features

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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